Biography

Tom has worked in the SEC’s Office of the General Counsel since 1998, and has been an Assistant General Counsel since 2006.    He helped draft the Part 205 attorney conduct rules, and is involved in investigating possible attorney misconduct and bringing administrative proceedings against attorneys pursuant to SEC Rule of Practice 102(e).   Tom was also involved in drafting the anti-retaliation and other provisions of the Commission’s rules implementing its Dodd-Frank whistleblower program, and has worked on amicus briefs on whistleblower issues, including the United States’ brief in Lawson v. FMR, 571 U.S. 429 (2014), and Digital Realty Trust v. Somers, 138 S.Ct. 767 (2019).

He is a graduate of Harvard University and of the University of Virginia School of Law. 

Associated Items

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Date
Program or Publication
Format
4/15/2019
On-Demand